FCA Compliance and Regulations Manager

JR United Kingdom; Nottingham; Hybrid; GBP 45,000 - 70,000; Full time

Job summary

Join a forward-thinking energy provider as a FCA Compliance and Regulations Manager in Nottingham. This full-time, hybrid role offers a unique opportunity to ensure adherence to FCA regulations while advising stakeholders on compliance matters. You'll lead the development of compliance strategies, conduct audits, and maintain relationships with regulatory bodies. This is an exciting chance to make a significant impact in a dynamic environment committed to sustainable solutions. If you're passionate about compliance and eager to drive continuous improvement, this role is perfect for you.

Qualifications

• Extensive experience with FCA regulations and compliance.
• Strong problem-solving skills and ability to influence stakeholders.

Responsibilities

• Lead compliance strategy development to meet FCA requirements.
• Conduct audits and manage regulatory requests effectively.

Skills

FCA regulations

Problem-solving

Communication skills

Stakeholder engagement

Team collaboration

Process improvement

Job description

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FCA Compliance and Regulations Manager, Nottingham

Location: Nottingham, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views:

4

Posted:

05.05.2025

Expiry Date:

19.06.2025

Job Description:

Become part of a forward-thinking energy provider committed to sustainable solutions across the UK. In this role, you will act as a key specialist, ensuring adherence to FCA regulations and advising the business on compliance matters. Your responsibilities will include performing third-line audit activities to assess regulatory compliance, as well as offering guidance, support, and expertise to stakeholders at all levels.

This is initially a six-month contract with potential for extension. The role is hybrid, requiring one or two days a week in Nottingham. It is a full-time position, 40 hours per week. If interested, please send your CV.

Accountabilities:

1. Lead the development and delivery of the compliance strategy to meet FCA and regulatory requirements.
2. Conduct horizon scanning to monitor regulatory changes.
3. Prepare and implement the annual monitoring plan, collaborating with business, risk, and oversight teams, and report to Senior Management.
4. Maintain relationships with the FCA and manage regulatory requests.
5. Develop and execute an audit plan covering key FCA risk areas and conduct independent audits.
6. Review and update EEISL-specific policies regularly.
7. Assess and provide assurance on the effectiveness of risk management processes.
8. Manage regulatory reports and breach notifications to the FCA, including collation and sign-off.
9. Report compliance status, findings, and recommendations to senior management, the Board, and the Audit Committee.
10. Review and approve FCA financial promotions in line with guidelines.
11. Prepare the business for new FCA permissions.
12. Conduct audits of ARs to ensure compliance and manage risks.
13. Develop QA frameworks and provide feedback to ARs.
14. Review and approve annual FCA compliance training.
15. Collaborate with the Chief of Staff team to resolve issues and implement solutions.

Knowledge and Skills:

• Extensive experience with FCA regulations.
• Strong problem-solving skills with focus on execution.
• Ability to build trust and influence through engagement.
• Excellent communication skills, especially with senior stakeholders.
• Collaborative mindset, leveraging team strengths.
• Growth-oriented, committed to continuous process improvement.

Additional Notes:

Successful applicants will undergo pre-employment checks, including a Disclosure Barring Service check. This vacancy is advertised by Rullion Ltd, acting as an employment business. Rullion has been connecting candidates with clients since 1978, focusing on long-term relationships and honest service.